Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Hey Boomers: Better Get Better at Communicating with Younger Generations
By Brian AndersonThe insurance industry has the jobs, but is failing to attract the talent to fill them. Boomer insurance execs need to learn why the disconnect exists and do a better job of positioning younger generations on the path to business ownership.
March 02, 2012
Raymond James Grabs Two Merrill Teams in SoutheastA team joins the employee channel with $2.7 million in production and $853 million in assets, while the indie advisors have production of about $860,000 and total assets of $140 million.
March 02, 2012
Charles Goldman to Advisors: Be Paranoid About Your BusinessFormer Schwab, Fidelity executive warns SSG advisors at conference to avoid arrogance, focus on forming a vision for their firms and not to overlook power of wirehouses.
March 02, 2012
SERFF'S up for NAICThe unilateral decision by officials of National Association of Insurance Commissioners to broaden the use of the System for Electronic Rate and Form Filing (SERFF) to include regulatory purposes is coming under strong fire from industry trade groups.
March 02, 2012
SERFF'S up for NAICThe unilateral decision by officials of National Association of Insurance Commissioners to broaden the use of the System for Electronic Rate and Form Filing (SERFF) to include regulatory purposes is coming under strong fire from industry trade groups.
March 02, 2012
FINRA to Restructure BrokerCheck, Giving Investors More PowerProposed changes include not only unifying BrokerCheck and the SECs IAPD system, but also divulging broker/advisor test scores.
February 28, 2012
SEC Issues Risk Alert on Unauthorized Trading in Brokerage, Advisory AccountsThe Risk Alert issued by the SEC warns that although BDs and RIAs are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.
February 28, 2012
Raymond James Recruits $2.7 Million Advisor TeamRaymond James added a $2.7 million team to its ranks, the broker-dealer announced Tuesday.